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Detailed Report
AUSTIN PARK
CRD#: 2907242
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 2500 E COLORADO BLVD #225
PASADENA, CA 91107-6616
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2016 (5 years)2 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)BVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)1998 - 2006 (7 years)BTHE VARIABLE ANNUITY MARKETING... (CRD# 5081)1997 - 2001 (4 years)IAVALIC FINANCIAL ADVISORS, INC. (CRD# 42803)2003 - 2006 (3 years)
License(s)

State Registrations

B
California 10/24/2022
B
Nevada 10/24/2022
IA
California 10/25/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
2500 E COLORADO BLVD #225, PASADENA, CA 91107-6616
Registered with this firm since 10/25/2022
B
LPL FINANCIAL LLC (CRD#:6413)
2500 E COLORADO BLVD #225, PASADENA, CA 91107-6616
Registered with this firm since 10/24/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/29/2019 - 10/24/2022 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) PORTER RANCH, CA
B
 04/26/2019 - 10/24/2022 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) PORTER RANCH, CA
IA
 10/28/2016 - 05/13/2019 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) LOS ANGELES, CA
B
 10/28/2016 - 05/13/2019 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) LOS ANGELES, CA
IA
 01/03/2011 - 11/03/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PASADENA, CA
B
 01/03/2011 - 11/03/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PASADENA, CA
IA
 08/18/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
B
 08/17/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
IA
 06/01/2009 - 08/30/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PASADENA, CA
B
 06/01/2009 - 08/30/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PASADENA, CA
IA
 07/14/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 07/14/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
IA
 06/05/2003 - 08/01/2006 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) ANAHEIM, CA
B
 10/29/1998 - 08/01/2006 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) ANAHEIM, CA
B
 08/25/1997 - 12/31/2001 THE VARIABLE ANNUITY MARKETING COMPANY (CRD#:5081) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.